C.F.R. » Title 17 » CHAPTER II—SECURITIES AND EXCHANGE COMMISSION › PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS › Subpart M—Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission

17 C.F.R. § 200.735-1

Purpose

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This subpart sets forth the standards of ethical conduct required of members, employees and special Government employees, and former members and employees of the Securities and Exchange Commission.

[75 FR 42276, July 20, 2010]
Notes of Decisions
Cited in 2 cases (2 in the last 5 years), 2023–2023 · leading case: Sec. & Exch. Comm'n v. Michael M. Beck (C.D. Cal. 2023).
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Sec. & Exch. Comm'n v. Michael M. Beck (C.D. Cal. 2023). “To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 through 200.735-18, and who assists in the investigation by the Commission of possible violations of the Federal securities laws 19 (as such term is defined in section…”
U.S Sec. & Exch. Comm'n v. Saw (S.D.N.Y. 2023). “To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 through 200.735-18, and who assists in the investigation by the Commission of possible violations of the Federal securities laws (as such term is defined in section 3(a)(47)…”
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